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Oct 18, 2019, 15:12 ET Enforcement Notice - Hearing - IIROC to Hold Disciplinary Hearing for Halifax Investment Advisor Shirley Locke

HALIFAX, Oct. 18, 2019 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Shirley Locke. The discipline...


Oct 18, 2019, 12:39 ET Enforcement Notice - Decision - IIROC Fines BMO Nesbitt Burns Inc.

TORONTO, Oct. 18, 2019 /CNW/ - On October 4, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC...


Oct 17, 2019, 14:30 ET Enforcement Notice - Hearing - IIROC to Hold Disciplinary Hearing Regarding TD Waterhouse Canada Inc.

TORONTO, Oct. 17, 2019 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of TD Waterhouse Canada Inc....


Oct 17, 2019, 14:15 ET Enforcement Notice - Decision - IIROC Fines Mackie Research Capital Corporation and Patrick Byrnes McCarthy

TORONTO, Oct. 17, 2019 /CNW/ - On October 3, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC...


Oct 10, 2019, 09:00 ET IIROC takes steps to prevent investment firms from excluding or unreasonably limiting their liability to clients

Pan-Canadian self-regulator calls for firms to revise agreements that exclude or unreasonably limit their accountability and place onus on clients TORONTO, Oct. 10, 2019 /CNW/ - The Investment...


Oct 08, 2019, 15:42 ET Enforcement Notice - Decision - IIROC Fines and Suspends Former Vancouver Investment Advisor Alykhan Kassam

VANCOUVER, Oct. 8, 2019 /CNW/ - On September 18, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between...


Oct 07, 2019, 12:15 ET Enforcement Notice - Decision - IIROC Hearing Panel fines Sherbrooke Investment Advisor Jean-Pierre Paquette

MONTRÉAL, Oct. 7, 2019 /CNW/ - On September 26, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between...


Oct 07, 2019, 11:00 ET Enforcement Notice - Decision - IIROC Hearing Panel Issues Motion Decision in the Matter of Vancouver Investment Advisor Dwight Cameron Mann

VANCOUVER, Oct. 7, 2019 /CNW/ - Following a motion held on August 22, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) ordered the following in the matter of ...


Oct 03, 2019, 14:45 ET Enforcement Notice - Decision - IIROC Permanently Bans and Fines Former Montréal Investment Advisor Cynthia Nelson

MONTRÉAL, Oct. 3, 2019 /CNW/ - A Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) has imposed penalties on Cynthia Nelson. Specifically, Ms. Nelson admitted to the...


Oct 03, 2019, 12:13 ET Investment Industry Regulatory Organization of Canada Welcomes Canadian Securities Administrators' Client Focused Reforms

TORONTO, Oct. 3, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today welcomed the Canadian Securities Administrators' (CSA) adoption of reforms to enhance the...


Sep 25, 2019, 19:02 ET Enforcement Notice - Hearing - IIROC to Hold Disciplinary Hearing for Michael Francis O'Brien

CALGARY, Sept. 25, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) will hold a disciplinary hearing regarding Michael Francis O'Brien. The hearing concerns allegations...


Sep 25, 2019, 11:40 ET 2019-20 IIROC Board of Directors Elected

TORONTO, Sept. 25, 2019 /CNW/ - At the Annual General Meeting of the Investment Industry Regulatory Organization of Canada (IIROC) on September 24, 2019, five individuals were elected or re-elected...


Sep 20, 2019, 18:30 ET Enforcement Notice - Hearing - IIROC to Hold Settlement Hearing for BMO Nesbitt Burns Inc.

TORONTO, Sept. 20, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has scheduled a hearing to consider whether a Settlement Agreement entered into between IIROC staff...


Sep 20, 2019, 18:19 ET Enforcement Notice - Hearing - IIROC to Hold Disciplinary Hearing for Toronto Investment Advisor Michael Alexander McKee

TORONTO, Sept. 20, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) will hold a disciplinary hearing regarding Michael Alexander McKee. Specifically, the allegations are ...


Sep 19, 2019, 13:06 ET Enforcement Notice - Hearing - IIROC to Hold Settlement Hearing for Mackie Research Capital Corporation and Patrick Byrnes McCarthy

TORONTO, Sept. 19, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has scheduled a hearing to consider whether a Settlement Agreement entered into between IIROC staff,...


Sep 17, 2019, 13:25 ET Enforcement Notice - Hearing - IIROC to Hold Settlement Hearing for Toronto Investment Advisor Francesco Coccimiglio

TORONTO, Sept. 17, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has scheduled a hearing to consider whether a Settlement Agreement entered into between IIROC staff...


Sep 05, 2019, 15:07 ET Enforcement Notice - Hearing - IIROC Holds Disciplinary Hearing for Winnipeg Investment Advisor Joseph Marcel Denis (Denis) Rochon

CALGARY, Sept. 5, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) will hold a disciplinary hearing regarding Joseph Marcel Denis (Denis) Rochon. The hearing concerns...


Sep 03, 2019, 11:00 ET IIROC's 2018-2019 Annual Report details progress on Strategic Plan, enhancements in regulatory activities and legislative changes that strengthen enforcement authority

TORONTO, Sept. 3, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today released its Annual Report for 2018-2019, highlighting progress to position the organization for ...


Aug 28, 2019, 10:00 ET Clarifying use of automation for IIROC-regulated OEO investment firms

TORONTO, Aug. 28, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today published guidance to clarify how Order Execution Only (OEO) investment firms may use automation ...


Aug 23, 2019, 15:00 ET Enforcement Notice - Hearing - IIROC Adjourns Hearing in the Matter of Brian Anthony Peters

VANCOUVER, Aug. 23, 2019 /CNW/ - A disciplinary hearing was originally scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Brain...


Aug 23, 2019, 10:25 ET Enforcement Notice - Hearing - IIROC Begins Disciplinary Action Against Toronto Investment Advisor Yonathan Chanoch Shields

TORONTO, Aug. 23, 2019 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) for the purpose of setting a date for the...


Aug 23, 2019, 10:10 ET Enforcement Notice - Hearing - Disciplinary Hearing In The Matter of TD Waterhouse Canada Inc. Adjourned

TORONTO, Aug. 23, 2019 /CNW/ - A disciplinary hearing originally scheduled to commence on September 9, 2019 before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) ...


Aug 22, 2019, 11:00 ET Securities regulator modernizes rules to improve investment firms' understanding and interpretation

IIROC publishes plain language Dealer Member Rules TORONTO, Aug. 22, 2019 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today published its Dealer Member Rules in plain...


Aug 16, 2019, 13:40 ET Enforcement Notice - Decision - IIROC Suspends the Membership of Dominick Capital Corporation

TORONTO, Aug. 16, 2019 /CNW/ - Following a hearing held on August 16, 2019, in Toronto, Ontario, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) suspended the...


Aug 14, 2019, 10:40 ET Enforcement Notice - Hearing - IIROC Begins Disciplinary Action Against Former BBS Securities Inc. UDP Bardya Ziaian

TORONTO, Aug. 14, 2019 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) for the purpose of setting a date for the...